Senior Director, Compliance – Transamerica Am

Transamerica Corporation

Denver, United States
$180,000 - $200,000 annually; bonus for eligible e...
On-site
Investment company act rule 38a-1
Investment advisers act rule 206(4)-7
Anti-money laundering programs
Provide strategic direction and oversight to risk managers relating to operational, liquidity, and derivatives compliance risk programs

Job Summary

  • Provide strategic direction and oversight to risk managers relating to operational, liquidity, and derivatives compliance risk programs.
  • Develop, lead, and manage compliance program responsibilities including monitoring, testing, annual reviews, and tracking.
  • Oversee and administer anti-money laundering, sanctions, and anti-fraud programs for TAM, the registered investment companies and the transfer agent.

Matching Summary

Provide strategic direction and oversight to risk managers relating to operational, liquidity, and derivatives compliance risk programs.

Salary

$180,000 - $200,000 annually; Bonus for Eligible Employees; Comprehensive benefits package

Skills & Requirements

Must-have

  • Investment Company Act Rule 38a-1
  • Investment Advisers Act Rule 206(4)-7
  • anti-money laundering programs
  • regulatory examinations and audits
  • risk assessment and testing programs

Nice-to-have

  • support retail separately managed account programs
  • fostering a diverse workforce
  • collaborative positive environment

Key Requirements

  • 12 years of progressive compliance and risk experience
  • five years of experience in risk management functions
  • Bachelor’s degree in finance, business, or relevant field
  • Securities and/or compliance designations

Work Rights

Not specified

Tailored Resume

Cover Letter